Craig M. Vejvoda
PRINCIPAL SECURITIES
Tulare, CA 93274
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CRD#: 1201684
Professional summary
Craig Matthew Vejvoda, CFP®, ChFC®, CLU®, who also goes by Craig Mathew Vejvoda, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tulare, California.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Craig has worked at 1 firm and has passed the Series 66, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig Mathew Vejvoda
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
**VARIOUS CARRIERS, SELLS GRP/IND HEALTH. **Fixed insurance, Life, DI, Annuities; Investment Related; 200 N M St, Tulare, CA 93274 Start Date: 10/20/15; 10 hrs per month; 10 during trading hours. **Fixed Insurance; Dental, LTC; Sales; Start Date: 05/24/2018; 10 hrs per month; 10 during trading hours. **GREATER TULARE CHAMBER TRUST POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2022 ADDRESS: 220 E Tulare Ave, Tulare CA 93274, United States DESCRIPTION: The Greater Tulare Chamber Trust is an urban community economic development organization in Tulare CA whose mission is: Advance City's public welfare. I have been asked to serve as a member of the five-member board. **TULARE COUNTY EMPLOYEES RETIRMENT ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 02/28/2024 ADDRESS: 136 N Akers St., Visalia CA 93291, United States DESCRIPTION: The TCERA Board is responsible for establishing policies governing the administration of the retirement plan, making benefit determinations and managing the investment of the system's assets. The nine-member Board operates under the authority granted by Article XVI of the Constitution of the State of California. **CRAIG VEJVODA POSITION: Lender NATURE: Mortgage Originator INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 1920 Cabernet Drive, Tulare CA 93274, United States DESCRIPTION: I sold my office building and am receiving mortgage payments from the buyer. **TULARE ROTARY CLUB POSITION: Foundation Chair NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 07/01/2023 ADDRESS: 200 N M St, Tulare CA 93274, United States DESCRIPTION: Member of the Tulare Rotary Board and Foundation Chair. Attend Club and Board meetings and encourage Members to contribute to the Rotary International Foundation.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Matthew Vejvoda's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Matthew Vejvoda's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2020
Experience
Current
May 24, 2000 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 200 N M St, Tulare, CA 93274RIA
BD
CRD#: 1137
Tulare, CA
Current
November 29, 1983 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 200 N M St, Tulare, CA 93274RIA
BD
CRD#: 1137
Tulare, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/24/1984)
IAR
California(5/24/2000)
RR
Texas(11/8/2024)
IAR
Texas(11/8/2024)
RR
Utah(3/7/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
